John Tom

John Tom

Capital One

Information

Compliance professional with fixed income advisory (cash and derivative) and surveillance (trade, eComms & voice) experience. Previously worked at Wells Fargo, Commerzbank, HSBC, Actimize, Morgan Stanley and Merrill Lynch. Registrations currently held include the series 7, 24 and 63.

Speaker on

M: The Evolving Role of the 2nd Line: From Reactive Oversight to Strategic Partner

Roundtable FI
06/04/2025 | 13:35 - 14:15 | Juilliard

M: The Evolving Role of the 2nd Line: From Reactive Oversight to Strategic Partner

Roundtable Non-FI
06/04/2025 | 13:35 - 14:15 | Juilliard